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Category Archives: Securities Law
Jury Rules in SEC’s Favor, Finds Brokerage Firm and Two of Its Executives Liable for Fraud
Jurors in Manhattan federal court today returned a verdict in the Securities and Exchange Commission’s favor against a brokerage firm and two of its executives.The SEC charged the brokerage firm, Portfolio Advisors Alliance Inc. (PAA), Howard J. Allen, the indirect owner of … Continue reading
Posted in Securities Law
Tagged Brokerage, Executives, Favor, finds, Firm, fraud, jury, Liable, Rules, SECs
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AmEx had no duty to update investors about contract negotiations
By Anne Sherry, J.D. The Second Circuit agreed with a district court that American Express did not violate the securities laws by making—or failing to update—certain statements about its relationship with Costco. After AmEx ended its co-branding agreement with Costco … Continue reading
Posted in Securities Law
Tagged about, AMEX, contract, Duty, Investors, Negotiations, Update
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Del. Court Addresses Summary Judgement Issues in Dole Foods Take-Private Transaction Insurance Coverage Litigation
The long-running insurance coverage litigation arising from the settlements of the shareholder claims filed in connection with the Dole Food Company’s November 2013 “going private” transaction continues to work its way through the Delaware court. In the latest development in … Continue reading
Posted in Securities Law
Tagged Addresses, Court, coverage, Del., Dole, Foods, Insurance”, Issues, Judgement, Litigation, Summary, TakePrivate, Transaction
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Scott Klor-Former LPL Financial Advisor-Discloses Regulatory Suspension and Discharge from Employment-Baton Rouge, LA
Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. May 2019 – Baton Rouge, LA According to publicly available records, former LPL Financial financial advisor Scott P. Klor discloses a recent regulatory event and a termination from employment. The Financial Industry … Continue reading